UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 2)
ALLIANCE HOLDINGS GP, L.P.
(Name of Issuer) |
Common Units
(Title of Class of Securities) |
0 1861G10 0
(CUSIP Number) |
1717 South Boulder Avenue, Suite 400
Tulsa, Oklahoma 74119
(918) 295-7600
with a copy to:
R. Eberley Davis
Senior Vice President,
General Counsel and Secretary
of Alliance GP, LLC
(the general partner of Alliance Holdings GP, L.P.)
1717 South Boulder Avenue, Suite 400
Tulsa, Oklahoma 74119
(918) 295-7600
(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) |
July 31, 2008
(Date of Event which Requires Filing of this Statement) |
If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. ¨
Note: Schedules filed in paper format shall include a signed original and five copies of this schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent.
* | The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. |
The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
CUSIP NO. 01861G10 0 | 13D | Page 2 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Joseph W. Craft III |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) x (b) ¨ |
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3 | SEC USE ONLY
|
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4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
30,795,526 Common Units1 | |
8 SHARED VOTING POWER
18,0002 | ||
9 SOLE DISPOSITIVE POWER
30,795,526 Common Units1 | ||
10 SHARED DISPOSITIVE POWER
16,784,495 Common Units2,3 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
47,580,021 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
79.5% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
1 |
Comprised of (i) 9,605,338 Common Units held by Joseph W. Craft III (Craft) individually and through a Craft grantor retained annuity trust; (ii) 20,641,168 Common Units held by Alliance Resource GP, LLC (of which Craft is the indirect sole owner and President, Chief Executive Officer and sole Director); and (ii) 549,020 Common Units held by Alliance Management Holdings III, LLC (of which Craft is President and Director). |
2 |
Craft may be deemed to share dispositive and voting power with respect to 18,000 Common Units held by the Joseph W. Craft III Foundation, a charitable foundation of which Craft is co-trustee. The filing of this statement shall not be deemed an admission that Craft beneficially owns such shares. |
3 |
Craft may be deemed to share dispositive power with the Non-Craft Controlled Reporting Persons (as defined in Item 2 of that certain Amendment No. 1 to Schedule 13D filed on March 8, 2007 (SEC File Number 005-81827; Film Number 07680565)(Schedule 13D Amendment No. 1)) with respect to an aggregate of 16,766,495 Common Units held by such Non-Craft Controlled Reporting Persons as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). The filing of this statement shall not be deemed an admission that Craft beneficially owns such shares. |
CUSIP NO. 01861G10 0 | 13D | Page 3 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Joseph W. Craft III Foundation |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) x (b) ¨ |
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3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Oklahoma |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
-0- | |
8 SHARED VOTING POWER
18,000 Common Units4 | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
18,000 Common Units4 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
18,000 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.03% |
|||
14 | TYPE OF REPORTING PERSON *
OO |
* SEE INSTRUCTIONS
4 |
Voting and dispositive power of the 18,000 Common Units held by the Joseph W. Craft III Foundation may be deemed to be shared with Joseph W. Craft III, a co-trustee of the foundation. |
CUSIP NO. 01861G10 0 | 13D | Page 4 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Alliance Resource Holdings II, Inc. |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) x (b) ¨ |
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3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
20,641,168 Common Units5 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
20,641,168 Common Units5 | ||
10 SHARED DISPOSITIVE POWER
-0- |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
20,641,168 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
34.5% |
|||
14 | TYPE OF REPORTING PERSON *
CO |
* SEE INSTRUCTIONS
5 |
Voting and dispositive power with respect to such Common Units is exercised by Joseph W. Craft III. Alliance Resource Holdings II, Inc., which is wholly-owned by Joseph W. Craft III, is the sole shareholder of Alliance Resource Holdings, Inc. Alliance Resource Holdings, Inc. is the sole member of Alliance Resource GP, LLC, the holder of the reported 20,641,168 Common Units. |
CUSIP NO. 01861G10 0 | 13D | Page 5 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Alliance Resource Holdings, Inc. |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) x (b) ¨ |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
20,641,168 Common Units6 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
20,641,168 Common Units6 | ||
10 SHARED DISPOSITIVE POWER
-0- |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
20,641,168 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
34.5% |
|||
14 | TYPE OF REPORTING PERSON *
HC, CO |
* SEE INSTRUCTIONS
6 |
Voting and dispositive power with respect to such Common Units is exercised by Joseph W. Craft III. Alliance Resource Holdings II, Inc., which is wholly-owned by Joseph W. Craft III, is the sole shareholder of Alliance Resource Holdings, Inc, Alliance Resource Holdings, Inc. is the sole member of Alliance Resource GP, LLC, the holder of the reported 20,641,168 Common Units. |
CUSIP NO. 01861G10 0 | 13D | Page 6 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Alliance Resource GP, LLC |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) x (b) ¨ |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
20,641,168 Common Units7 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
20,641,168 Common Units7 | ||
10 SHARED DISPOSITIVE POWER
-0- |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
20,641,168 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
34.5% |
|||
14 | TYPE OF REPORTING PERSON *
OO |
* SEE INSTRUCTIONS
7 |
Voting and dispositive power with respect to such Common Units is exercised by Joseph W. Craft III. Alliance Resource Holdings II, Inc., which is wholly-owned by Joseph W. Craft III, is the sole shareholder of Alliance Resource Holdings, Inc. Alliance Resource Holdings, Inc. is the sole member of Alliance Resource GP, LLC, the holder of the reported 20,641,168 Common Units. |
CUSIP NO. 01861G10 0 | 13D | Page 7 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
ALLIANCE MANAGEMENT HOLDINGS III, LLC |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) x (b) ¨ |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
549,020 Common Units8 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
549,020 Common Units | ||
10 SHARED DISPOSITIVE POWER8
-0- |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
549,020 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.9% |
|||
14 | TYPE OF REPORTING PERSON *
OO |
* SEE INSTRUCTIONS
8 |
Voting and dispositive power with respect to such Common Units is exercised by Joseph W. Craft III, as sole director of Alliance Management Holdings III, LLC. |
CUSIP NO. 01861G10 0 | 13D | Page 8 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
A. Wellford Tabor (as Trustee under (i) the Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006; (ii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006; (iii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006; and (iv) the Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006) |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
-0-9 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
-0-9 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
-0- |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
-0- |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
9 |
Effective March 20, 2008, A. Wellford Tabor resigned as the Trustee of (i) the Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006; (ii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006; (iii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006; and (iv) the Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006. Effective upon such resignation, Mr. Tabor ceases to beneficially own any Common Units. |
CUSIP NO. 01861G10 0 | 13D | Page 9 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Elaine R. Guilfoyle (as Co-Trustee under (i) the Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006; (ii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006; (iii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006; and (iv) the Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006) |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
-0- | |
8 SHARED VOTING POWER
2,211,888 Common Units10 | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
2,211,888 Common Units10, 11 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,211,888 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.7% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
10 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the aggregate of 2,211,888 Common Units held by the four trusts identified in Row 1 of this cover page is shared by Elaine R. Guilfoyle and Mary Catherine Huigens, as co- trustees of such trusts. Ms. Guilfoyle and Ms. Huigens became co-trustees of such trusts on March 20, 2008. |
11 |
Dispositive power of the Common Units may also be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 10 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Mary Catherine Huigens (as Co-Trustee under (i) the Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006; (ii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006; (iii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006; and (iv) the Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006) |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
1,80712 | |
8 SHARED VOTING POWER
2,211,888 Common Units13 | ||
9 SOLE DISPOSITIVE POWER
1,80712 | ||
10 SHARED DISPOSITIVE POWER
2,211,888 Common Units13, 14 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,211,888 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.7% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
12 |
Ms. Huigens, apart from her capacity as co-trustee as described in the immediately following footnote, individually beneficially owns 1,807 Common Units. |
13 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the aggregate of 2,211,888 Common Units held by the four trusts identified in Row 1 of this cover page is shared by Mary Catherine Huigens and Elaine R. Guilfoyle, as co- trustees of such trusts. Ms. Huigens and Ms. Guilfoyle became co-trustees of such trusts on March 20, 2008. |
14 |
Dispositive power of the Common Units may also be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 11 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006 |
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2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
552,972 Common Units15 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
552,972 Common Units15, 16 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
552,972 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.9% |
|||
14 | TYPE OF REPORTING PERSON *
OO |
* SEE INSTRUCTIONS
15 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by Elaine R. Guilfoyle and Mary Catherine Huigens, as Co-Trustees of the Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006. |
16 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 12 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006 |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
552,972 Common Units17 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
552,972 Common Units17, 18 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
552,972 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.9% |
|||
14 | TYPE OF REPORTING PERSON *
OO |
* SEE INSTRUCTIONS
17 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by Elaine R. Guilfoyle and Mary Catherine Huigens, as Co-Trustees of the Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006. |
18 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 13 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006 |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
552,972 Common Units19 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
552,972 Common Units19, 20 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
552,972 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.9% |
|||
14 | TYPE OF REPORTING PERSON *
OO |
* SEE INSTRUCTIONS
19 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by Elaine R. Guilfoyle and Mary Catherine Huigens, as Co-Trustees of the Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006. |
20 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 14 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006 |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
552,972 Common Units21 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
552,972 Common Units21, 22 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
552,972 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.9% |
|||
14 | TYPE OF REPORTING PERSON *
OO |
* SEE INSTRUCTIONS
21 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by Elaine R. Guilfoyle and Mary Catherine Huigens, as Co-Trustees of the Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006. |
22 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 15 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Charles R. Wesley |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
3,559,625 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
3,559,625 Common Units23 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,559,625 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.9% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
23 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 16 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Nancy Wesley (as Trustee under The Charles R. Wesley Family Trust Irrevocable Trust Agreement, dated March 28, 2006) |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
139,455 Common Units24 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
139,455 Common Units24, 25 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
139,455 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
24 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units held by the trust identified in Row 1 of this cover page is exercised by Nancy Wesley, as trustee of such trust. |
25 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 17 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
The Charles R. Wesley Family Trust Irrevocable Trust Agreement, dated March 28, 2006 |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
139,455 Common Units26 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
139,455 Common Units26, 27 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
139,455 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2% |
|||
14 | TYPE OF REPORTING PERSON *
OO |
* SEE INSTRUCTIONS
26 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by Nancy Wesley, as Trustee under The Charles R. Wesley Family Trust Irrevocable Trust Agreement, dated March 28, 2006. |
27 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 18 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Thomas M. Wynne |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
1,236,894 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
1,236,894 Common Units28 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,236,894 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.1% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
28 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 19 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Cindy J. Wynne (as Trustee under The Thomas M. Wynne Family Trust Irrevocable Trust Agreement, dated March 28, 2006) |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
67,478 Common Units29 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
67,478 Common Units29, 30 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
67,478 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
29 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units held by the trust identified in Row 1 of this cover page is exercised by Cindy J. Wynne, as trustee of such trust. |
30 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 20 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
The Thomas M. Wynne Family Trust Irrevocable Trust Agreement, dated March 28, 2006 |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
67,478 Common Units31 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
67,478 Common Units31, 32 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
67,478 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1% |
|||
14 | TYPE OF REPORTING PERSON *
OO |
* SEE INSTRUCTIONS
31 |
Voting, other than as set forth in the immediately following footnote, and dispositive power with respect to the Common Units is exercised by Cindy J. Wynne, as Trustee under The Thomas M. Wynne Family Trust Irrevocable Trust Agreement, dated March 28, 2006. |
32 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 21 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Thomas L. Pearson |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
3,574,271 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
3,574,271 Common Units33 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,574,271 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.0% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
33 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 22 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Gary J. Rathburn |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
793,571 Common Units | |
8 SHARED VOTING POWER
1,653,56834 | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
2,447,139 Common Units35, 36 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,447,139 Common Units36 |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.1% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
34 |
Comprised of Common Units held by RaFT LLC, a limited liability company in which Mr. Rathburn and his wife, Anita Rathburn, each hold a 50% membership interest. |
35 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
36 |
Comprised of (i) 793,571 Common Units held by Gary J. Rathburn individually, and (ii) 1,653,568 Common Units held by RaFT LLC, a limited liability company in which Mr. Rathburn and his wife, Anita Rathburn, each hold a 50% membership interest. |
CUSIP NO. 01861G10 0 | 13D | Page 23 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Anita Rathburn |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
-0- | |
8 SHARED VOTING POWER
1,653,568 Common Units37 | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
1,653,568 Common Units38 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,653,568 Common Units37 |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.8% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
37 |
Comprised of Common Units held by RaFT LLC, a limited liability company in which Mrs. Rathburn and her husband, Gary J. Rathburn, each hold a 50% membership interest. |
38 |
Dispositive power of the Common Units may also be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 24 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
RaFT LLC |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Oklahoma |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
-0- | |
8 SHARED VOTING POWER
1,653,568 Common Units39 | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
1,653,568 Common Units39, 40 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,653,568 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.8% |
|||
14 | TYPE OF REPORTING PERSON *
OO |
* SEE INSTRUCTIONS
39 |
Voting and dispositive power may be deemed to be shared with RaFT LLCs manager, as well as with Gary J. Rathburn and Anita Rathburn, both of whom own a 50% membership interest in RaFT LLC. |
40 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 25 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Cary P. Marshall |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
955,925 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
955,925 Common Units41 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
955,925 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.6% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
41 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 26 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
David A. Gilbert |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
740,841 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
740,841 Common Units42 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
740,841 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.2% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
42 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 27 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
George C. Tichnell |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
616,469 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
616,469 Common Units43 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
616,469 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.0% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
43 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 28 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Dale G. Wilkerson |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
438,955 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
438,955 Common Units44 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
438,955 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.7% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
44 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 29 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Bret A. Hardwick |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
191,385 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
191,385 Common Units45 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
191,385 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.3% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
45 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 30 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Michael R. Rieck |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
196,271 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
196,271 Common Units46 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
196,271 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.3% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
46 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 31 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Alan K. Boswell (as Trustee under the Alan Kent Boswell Trust) |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
62,238 Common Units47 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
62,238 Common Units47, 48 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
62,238 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
47 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units held by the trust identified in Row 1 of this cover page is exercised by Alan K. Boswell, as trustee of such trust. |
48 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 32 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
The Alan Kent Boswell Trust |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Kentucky |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
62,238 Common Units49 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
62,238 Common Units49,50 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
62,238 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1% |
|||
14 | TYPE OF REPORTING PERSON *
OO |
* SEE INSTRUCTIONS
49 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by Alan K. Boswell, as Trustee under the Alan Kent Boswell Trust. |
50 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 33 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Linda K. Boswell (as Trustee under the Linda Knight Boswell Trust) |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
62,237 Common Units51 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
62,237 Common Units47,52 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
62,237 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
51 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units held by the trust identified in Row 1 of this cover page is exercised by Linda K. Boswell, as trustee of such trust. |
52 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 34 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
The Linda Knight Boswell Trust |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
Kentucky |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
62,237 Common Units53 | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
62,237 Common Units53,54 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
62,237 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1% |
|||
14 | TYPE OF REPORTING PERSON *
OO |
* SEE INSTRUCTIONS
53 |
Voting and, other than as set forth in the immediately following footnote, dispositive power with respect to the Common Units is exercised by Linda K. Boswell, as Trustee under the Linda Knight Boswell Trust. |
54 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 35 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Alan B. Smith |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
115,086 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
115,086 Common Units55 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
115,086 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
55 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 36 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Kendall Barret |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
76,611 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
76,611 Common Units56 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
76,611 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
56 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 37 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
John W. Tanner |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
48,175 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
-0- | ||
10 SHARED DISPOSITIVE POWER
48,175 Common Units57 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
48,175 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
57 |
Dispositive power of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
CUSIP NO. 01861G10 0 | 13D | Page 38 of 49 |
1 | NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
S. Paul Mackey |
|||
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) x |
|||
3 | SEC USE ONLY
|
|||
4 | SOURCE OF FUNDS *
OO |
|||
5 | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
¨ | ||
6 | CITIZENSHIP OR PLACE OF ORGANIZATION
USA |
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH |
7 SOLE VOTING POWER
27,852 Common Units | |
8 SHARED VOTING POWER
-0- | ||
9 SOLE DISPOSITIVE POWER
2,300 Common Units | ||
10 SHARED DISPOSITIVE POWER
25,552 Common Units58 |
11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
27,852 Common Units |
|||
12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES *
|
¨ | ||
13 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.05% |
|||
14 | TYPE OF REPORTING PERSON *
IN |
* SEE INSTRUCTIONS
58 |
Dispositive power 25,552 of the Common Units may be deemed to be shared with Joseph W. Craft III as a result of the Craft Drag-Along (as defined in Item 6 of Schedule 13D Amendment No. 1). |
Page 39 of 49
EXPLANATORY NOTE: This Amendment No. 2 to Schedule 13D (this Amendment No. 2) is filed to amend that certain Statement on Schedule 13D (SEC File No. 005-81827; Film No. 06863947)(the Original Schedule 13D), as amended by that certain Amendment No. 1 to Schedule 13D filed on March 8, 2007 (SEC File Number 005-81827; Film Number 07680565)(Schedule 13D Amendment No. 1, and the Original Schedule 13D, as so amended, the Amended Schedule 13D). Capitalized terms herein which are not otherwise defined herein shall have the meanings ascribed to such terms in Schedule 13D Amendment No. 1.
The purpose of this Amendment No. 2 is to report that, as more particularly described in Item 6 below, eight of the Reporting Persons under the Amended Schedule 13D have entered into option agreements with Alliance Holdings GP, L.P. (the Partnership) pursuant to which each such Reporting Persons granted the Partnership an option to purchase certain Common Units of the Partnership held by such Reporting Person.
Item 2. | Identity and Background. |
Item 2 is hereby amended as follows:
(a) Reference to Alliance Management Holdings, LLC and AMH II, LLC have been deleted. Both Alliance Management Holdings, LLC and AMH II, LLC held Common Units at the time of filing of the Original 13D; however, as reported in Schedule 13D Amendment No. 1, those entities no longer hold Common Units, and in fact, each such entity has been liquidated. In this Amendment No. 2, cover pages for Alliance Management Holdings, LLC and AMH II, LLC have been removed and such entities are not signatories to this filing.
(b) The resignation, effective as of March 20, 2008, of A. Wellford Tabor as Trustee of (i) the Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006; (ii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006; (iii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006; and (iv) the Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006 has been reflected. The appointment of replacement co-trustees of such trusts, Elaine R. Guilfoyle and Mary Catherine Huigens, has also been reflected, and Ms. Guilfoyle and Ms. Huigens have joined as members of the filing group of this Schedule 13D.
Item 3. | Source and Amount of Funds of Other Consideration. |
Item 3 is hereby amended as follows:
(a) The Joseph W. Craft III Foundation acquired an additional 3,000 Common Units in open market purchases in March, 2008. Funds of the Joseph W. Craft III Foundation were used to pay the aggregate purchase price of $65,693 for such Common Units.
(b) S. Paul Mackey acquired an additional 500 Common Units in open market purchases on July 18, 2006. Mr. Mackey used personal funds to pay the aggregate purchase price of $10,013 for such Common Units.
Item 5. | Interest in Securities of the Issuer. |
Paragraphs (a) and (b) of Item 5 are hereby amended and restated as follows:
(a) There were 59,863,000 Common Units outstanding as of August 1, 2008. The number of Common Units beneficially owned by each Reporting Person and the percentage of the total number of Common Units outstanding represented by such beneficial ownership is set forth on rows 11 and 13, respectively, of the cover page of this Statement on Schedule 13D prepared for such Reporting Person, and such information is incorporated herein by reference.
(b) The number of Common Units as to which there is sole power to vote or to direct the vote, sole power to dispose or direct the disposition, or shared power to dispose or direct the disposition for the Reporting Persons is set forth on the cover pages of this Statement on Schedule 13D, and such information is incorporated herein by reference.
Page 40 of 49
Item 6. | Contracts, Arrangements, Understandings, or Relationships with Respect to Securities of the Issuer. |
Item 6 is hereby amended as follows:
Each of the Reporting Persons listed in the chart below (each, a Grantor) has granted to the Partnership, an option (an Option) to purchase from such Grantor the number of Common Units set forth opposite such Grantors name.
Name of Grantor |
Number of Common Units Subject to Option | |
George C. Tichnell |
616,469 | |
Dale G. Wilkerson |
150,000 | |
Bret T. Hardwick |
40,077 | |
Michael R. Rieck |
196,271 | |
Linda Knight Boswell Trust |
20,000 | |
Alan B. Smith |
34,500 | |
Kendall Barrett |
30,000 | |
John Tanner |
8,000 |
Each Grantors Option was granted pursuant to a separate option agreement with the Partnership in substantially the form attached as Exhibit A hereto (each, an Option Agreement). The Option Agreements became effective on July 31, 2008, except in the case of the Option Agreement executed by Michael R. Rieck, which became effective on August 6, 2008. Each Grantor received, for the Option granted by such Grantor, an amount equal to the product of (x) $0.02 and (y) the number of Common Units subject to such Option. Pursuant to the Option Agreement of a Grantor, the Partnership has the right, but not the obligation, to exercise the subject Option by giving notice to such Grantor at anytime prior to October 28, 2008. The price payable for each Common Unit purchased by the Partnership upon the exercise of an Option is equal to $29.98.
Item 7. | Material to be Filed as Exhibits. |
Item 7 is hereby amended and restated as follows:
Exhibit A: | Appendix A (form of Partnership Agreement) to Form 424B-4 Prospectus filed by Alliance Holdings GP, L.P. on May 10, 2006 (File No. 333-129883; Film No. 06824227); incorporated herein by reference. | |
Exhibit B: | Exhibit A (form of Lock-Up Agreement) to the Underwriting Agreement filed on May 10, 2006 by Alliance Holdings GP, L.P. as Exhibit 1.1 to the Current Report on Form 8-K (File No. 000-51952; Film No. 06824756); incorporated herein by reference. | |
Exhibit C: | Exhibit 4.1 (Transfer Restrictions Agreement) and Exhibit 4.2 (A&R Registration Rights Agreement) to Current Report on Form 8-K filed by Alliance Holdings GP, L.P. on June 16, 2006 (File No. 000-51952; Film No. 06909836); incorporated herein by reference. | |
Exhibit D: | Joint Filing Agreement dated August 14, 2008; filed herewith. | |
Exhibit E: | Form of the Option Agreement entered into by and among each Grantor and the Partnership; filed herewith. |
Page 41 of 49
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.
Dated: August 14, 2008
/s/ Joseph W. Craft III by Megan Cordle pursuant to Power of Attorney dated 2/13/07 | ||
Joseph W. Craft III | ||
JOSEPH W. CRAFT III FOUNDATION | ||
By: | /s/ Megan Cordle pursuant to Power of Attorney dated 2/14/07 | |
Name: Megan Cordle | ||
Title: Attorney-in-Fact | ||
ALLIANCE RESOURCE HOLDINGS, INC. | ||
By: | /s/ Megan Cordle pursuant to Power of Attorney dated 3/5/07 | |
Name: Megan Cordle | ||
Title: Attorney-in-Fact | ||
ALLIANCE RESOURCE HOLDINGS II, INC. | ||
By: | /s/ Megan Cordle pursuant to Power of Attorney dated 3/5/07 | |
Name: Megan Cordle | ||
Title: Attorney-in-Fact | ||
ALLIANCE RESOURCE GP, LLC | ||
By: | /s/ Megan Cordle pursuant to Power of Attorney dated 5/08/06 | |
Name: Megan Cordle | ||
Title: Attorney-in-Fact | ||
ALLIANCE MANAGEMENT HOLDINGS III, LLC | ||
By: | /s/ Megan Cordle pursuant to Power of Attorney dated 3/5/07 | |
Name: Megan Cordle | ||
Title: Attorney-in-Fact |
Page 42 of 49
/s/ A. Wellford Tabor by Megan Cordle pursuant to Powers of Attorney dated 2/1/07 |
A. Wellford Tabor, individually, and as resigning Trustee under: (i) the Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006; (ii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006; (iii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006; and (iv) the Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006 |
/s/ Elaine R. Guilfoyle by Megan Cordle pursuant to Powers of Attorney dated 8/8/08 |
Elaine R. Guilfoyle, individually, and as Co-Trustee under: (i) the Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006; (ii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006; (iii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006; and (iv) the Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006 |
/s/ Mary Catherine Huigens by Megan Cordle pursuant to Powers of Attorney dated 8/11/08 |
Mary Catherine Huigens, individually, and as Co-Trustee under: (i) the Joseph W. Craft III 2006 Irrevocable Trust FBO Joseph W. Craft IV dated February 27, 2006; (ii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Caroline B. Fiddes dated February 27, 2006; (iii) the Joseph W. Craft III 2006 Irrevocable Trust FBO Ryan E. Craft dated February 27, 2006; and (iv) the Joseph W. Craft III 2006 Irrevocable Trust FBO Kyle O. Craft dated February 27, 2006 |
/s/ Charles R. Wesley by Megan Cordle pursuant to Power of Attorney dated 2/2/07 |
Charles R. Wesley |
/s/ Nancy Wesley by Megan Cordle pursuant to Powers of Attorney dated 2/3/07 and 2/5/07 |
Nancy Wesley, individually, and as Trustee under The Charles R. Wesley Family Trust Irrevocable Trust Agreement, dated March 28, 2006 |
Page 43 of 49
/s/ Thomas M. Wynne by Megan Cordle pursuant to Power of Attorney dated 2/2/07 |
Thomas M. Wynne |
/s/ Cindy J. Wynne by Megan Cordle pursuant to Powers of Attorney dated 2/2/07 |
Cindy J. Wynne, individually, and as Trustee under The Thomas M. Wynne Family Trust Irrevocable Trust Agreement, dated March 28, 2006 |
/s/ Thomas L. Pearson by Megan Cordle pursuant to Power of Attorney dated 2/22/07 |
Thomas L. Pearson |
/s/ Gary J. Rathburn by Megan Cordle pursuant to Power of Attorney dated 2/13/07 |
Gary J. Rathburn |
/s/ Anita Rathburn by Megan Cordle pursuant to Power of Attorney dated 2/13/07 |
Anita Rathburn |
RaFT LLC | ||
By: | /s/ Megan Cordle pursuant to Power of Attorney dated 2/13/07 | |
Name: Megan Cordle | ||
Title: Attorney-in-Fact |
/s/ Cary P. Marshall by Megan Cordle pursuant to Power of Attorney dated 2/2/07 |
Cary P. Marshall |
/s/ David A. Gilbert by Megan Cordle pursuant to Power of Attorney dated 2/2/07 |
David A. Gilbert |
/s/ George C. Tichnell by Megan Cordle pursuant to Power of Attorney dated 2/3/07 |
George C. Tichnell |
Page 44 of 49
/s/ Dale G. Wilkerson by Megan Cordle pursuant to Power of Attorney dated 2/1/07 |
Dale G. Wilkerson |
/s/ Bret A. Hardwick by Megan Cordle pursuant to Power of Attorney dated 2/1/07 |
Bret A. Hardwick |
/s/ Michael R. Rieck by Megan Cordle pursuant to Power of Attorney dated 2/1/07 |
Michael R. Rieck |
/s/ Alan K. Boswell by Megan Cordle pursuant to Powers of Attorney dated 2/9/07 |
Alan K. Boswell, individually, and as Trustee under the Alan Kent Boswell Trust |
/s/ Linda K. Boswell by Megan Cordle pursuant to Powers of Attorney dated 2/9/07 |
Linda K. Boswell, individually, and as Trustee under the Linda Knight Boswell Trust |
/s/ Alan B. Smith by Megan Cordle pursuant to Power of Attorney dated 2/1/07 |
Alan B. Smith |
/s/ Kendall Barret by Megan Cordle pursuant to Power of Attorney dated 2/4/07 |
Kendall Barret |
/s/ John W. Tanner by Megan Cordle pursuant to Power of Attorney dated 2/20/07 |
John W. Tanner |
/s/ S. Paul Mackey by Megan Cordle pursuant to Power of Attorney dated 2/7/07 |
S. Paul Mackey |
Page 45 of 49
EXHIBIT INDEX
Exhibit A: | Appendix A (form of Partnership Agreement) to Form 424B-4 Prospectus filed by Alliance Holdings GP, L.P. on May 10, 2006 (File No. 333-129883; Film No. 06824227); incorporated herein by reference. | |
Exhibit B: | Exhibit A (form of Lock-Up Agreement) to the Underwriting Agreement filed on May 10, 2006 by Alliance Holdings GP, L.P. as Exhibit 1.1 to the Current Report on Form 8-K (File No. 000-51952; Film No. 06824756); incorporated herein by reference. | |
Exhibit C: | Exhibit 4.1 (Transfer Restrictions Agreement) and Exhibit 4.2 (A&R Registration Rights Agreement) to Current Report on Form 8-K filed by Alliance Holdings GP, L.P. on June 16, 2006 (File No. 000-51952; Film No. 06909836); incorporated herein by reference. | |
Exhibit D: | Joint Filing Agreement dated August 14, 2008; filed herewith. | |
Exhibit E: | Form of the Option Agreement entered into by and among each Grantor and the Partnership; filed herewith. |